Sr. Associate, Registrations

Job Description Summary

Under direct supervision, uses specialized skills and knowledge gained through experience and training to administer the initial registration process for candidates. Follows established procedures to perform a variety of tasks requiring some evaluation, originality, or ingenuity in making routine decisions. Serves as a resource to resolve registrations and licensing related issues. Maintains regular contact with potential candidates to obtain, clarify and/or provide required information in order to complete the registration/affiliation process.

Job Description

Essential Duties and Responsibilities

• Prepares and submits required records for registering/associating candidates in accordance with Firm policies, industry standards, and federal and state securities laws. 

• Establishes and maintains registration-related record keeping systems.

• Ensures initial registrations/affiliations are processed in a timely and accurate manner.

• Oversees the submission of initial registration/affiliation applications, examinations and other requests via Registrations Hub to the Financial Industry Regulatory Authority (FINRA) Gateway. 

• Interprets and summarizes registration/association details from FINRA Gateway system to assist internal stakeholders as requested.

• Ensures that all FINRA, state/jurisdiction and other SRO requirements concerning customer complaints, disclosures, terminations and outstanding FINRA or IAR continuing education (CE) are escalated accordingly

• Maintains currency in FINRA, state/jurisdiction and other SRO rules and regulations regarding securities and advisory registrations.

• Operates standard office equipment and uses required software applications.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Concepts, principles, and practices of individual securities and advisory registrations and examination requirements. 

• Rules and regulations of the SEC, FINRA, and states/jurisdictions

• Investment concepts, practices and procedures used in the securities industry.

• Principles of securities industry operations.

• Financial markets and products. 

Skill in:

• Preparing complex forms and processing and tracking large volumes of documents. 

• Responding to and resolving inquiries resulting from initial registration requests.

• Creating and retaining candidate registration/affiliation records electronically.

• Entering candidate data into Firm and/or FINRA systems accurately and efficiently to meet deadlines.

• Handling multiple telephone lines, inboxes and work queues.

• Educating internal stakeholders regarding registration requirements and processes.

• Operating standard office equipment and using required software applications.

Ability to:

• Attend to detail while maintaining a big picture orientation.

• Read, interpret, analyze, and apply information from Firm policies and procedures, and regulatory agencies.

• Influence, motivate and persuade others to achieve desired outcomes without organizational authority.

• Work under pressure to manage multiple tasks with changing priorities to meet deadlines in a fast-paced environment with frequent interruptions.

• Communicate effectively, both orally and in writing.

• Work independently as well as collaboratively within a team environment.

• Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner.

• Maintain confidentiality of candidates’ personal and registration-related data.

• Establish and maintain effective working relationships at all levels of the organization.

• Increase knowledge of SEC, FINRA, states/jurisdictions and other SRO regulations regarding individual registration requirements.

Educational/Previous Experience Requirements

• High School diploma or equivalent and a minimum of four (4) years of relevant work experience.

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• None Required.

• Appropriate FINRA series licensure for assigned functional area preferred.

• Additional licenses/certifications<